Our Approach

1. We're curious

We know the investment management business, but we don't know your investment management business. Learning your business requires a curious mind, and we're really curious. Because we've worked with so many unusual and complex firms, we know how to learn firms, and we want to learn yours.

2. We Use multiple disciplines to solve problems

Our approach involves drawing from multiple disciplines to redefine problems outside normal boundaries and reach solutions based upon a new understanding of complex situations. Our sweet spot is anywhere that disciplines intersect.

The first use of the multidisciplinary approach was during World War II by what became known as the military–industrial complex. Notably, the Lockheed Aircraft Company set up its own special projects operation—nicknamed the Skunk Works—in 1943 to develop the XP-80 jet fighter in just 143 days.

ReGroup is your Skunkworks.

3. We Strengthen your organization from the inside out

A close look at even the most successful investment adviser can reveal small issues that, left unresolved, add up and eventually slow your firm down. We take interest when that accumulation makes your firm less competitive and keeps it from reaching its full potential.

We identify challenges vertically within functions, horizontally across functions, and within the culture of an organization. Then we help turn those issues around so the company can grow, create lasting value, and be a more competitive investment management firm.

4. Why our solutions work

We approach problem solving with a risk management mindset in this way: not everything can be solved, and there are a lot of great solutions that produce no return on your investment. Our solutions work because we focus on solving the issues that matter. Every engagement includes problem identification, prioritization, execution, and reporting.

5. What you get

Our goal is to educate our clients, not just hand over our recommendations and call it a day. We provide useful reports you can share and reuse, plans for communicating organizational change to your team, and strategies for staying on track. Most importantly, we work with you closely to make sure you maximize the effectiveness of your role in the process.

6. STAGES OF DEVELOPMENT

ReGroup's clients are in every stage of development:

Start-up firms before they start up.

Firms in transition who need to 'regroup'.

Firms that are growing so fast they're growing right out of their own expertise, people, processes, and systems.

Our clients are large and small, complex and simple. We use the collected experiences and learning from each to help the next client along the way.

What's In A Name?

LIKE MANY GOOD THINGS, OUR NAME WAS A HAPPY ACCIDENT.

In 2002, when ReGroup was founded, regulatory activism was at a high boil, and the phone was ringing off the hook with firms looking for regulatory management advice.

We tried on the name Regulatory Management Group, which made for a very long URL; so we tried shortening it to ReGroup - and it worked!

Since then, we've evolved along with our clients to solve many kinds of problems. As it turns out, the name is infectious, relatable, and relevant: helping investment advisers regroup is exactly what we do.

We all have times when we need to "stop for a short time and prepare before continuing doing something that is difficult: to stop and think, reorganize, etc., before continuing" - the very definition of the word.

WHEN EXTRAORDINARY INVESTMENT ADVISERS ENGAGE US TO TACKLE HIGH RISK MATTERS OR BACK OFFICE OPERATIONS, WE ARE HONORED BY THEIR TRUST, AND DELIVER THE INTERDISCIPLINARY PERSPECTIVE THEY HELPED US DEVELOP. 

— Ann Oglanian, ReGroup CEO

Who We Are

Ann E. Oglanian, President and CEO

Ann has more than 25 years of professional experience in the investment management industry providing strategic analysis and practical guidance on creating opportunities for growth while taking informed risk.

"We worked with ReGroup to help our firm successfully navigate multiple management changes. They exceeded my expectations - the hands-on nature of the services they provided, their ability to identify with our employees, and the level of insight they provided were exemplary."

"Ann helped us find the opportunity in the middle of a governance transition from our founder to professional management. ReGroup designed and facilitated an offsite that kept the conversation focused, objective, and productive. We walked away a stronger mission and blueprint for success."

BA from Trinity University in San Antonio, TX and a JD from the University of Iowa, College of Law.

Ann is the author of several investment industry articles, a regular contributor to investment industry journals, and a sought after and engaging speaker on a wide variety of topics, including leadership, professional development, and corporate ethics. Ann is a member of the American and Illinois Bar Associations.

A Small/SMID-cap manager with a 20-year history, small employee base, and just over $2B AUM, wanted transparent and effective systems that could support expected growth and shifting regulatory and institutional client expectations.

“Working with ReGroup removed the guesswork from our compliance systems implementation. ReGroup managed the risk of investing in a system with outstanding project management and delivered a huge asset to our firm on time and on budget.”

ReBecca began her career with ReGroup in 2012 as an executive assistant and office manager. Her strengths include research, writing, editing, project management, systems selection and implementation, and client communication. She supports the firm's operations, marketing, and client service efforts.

Rebecca is developing her area of expertise in recruiting, Code of Ethics Administration, and Compliance Program Testing and has worked on several projects where she contributed in those areas. She also oversees most of ReGroup’s client projects as our designated project manager.

Drawn to the promise of serving a diverse population, she began working as an administrative and recruiting assistant for a private staffing firm. While there, she contributed to marketing and sales, recruiting, applicant intake and employee on boarding, and client relationship management.

Rebecca earned her BS in Sociology from Santa Clara University.

Jacqueline Boktor, Controller

Jackie joined ReGroup in 2007, and has 11 years’ experience in operations, office AND ACCOUNT management, and client service.

She provides the foundation and positive attitude necessary to meet the high standards we have for serving our clients.

Jacqueline began her career with ReGroup as an office manager and transitioned into the role of operations and finance management where she implemented and monitored operational systems, processes, and policies in support of ReGroup’s business needs. She plays a significant role in long-term planning and overseeing the firm's financial management.

Jacqueline earned her BA in Political Science from the University of San Francisco.

I don’t normally find FINRA tools to be of much use to IAs, but the Small Firm Cybersecurity Program Checklist is a rare and excellent exception that encourages a collaborative approach to understanding your firm’s risks and developing and implementing a thoughtful cybersecurity plan.

Having sat through countless conference sessions and webinars focused on cybersecurity issues, I can say with 100% certainty that yours was the best I’ve seen. The practical/real world compliance angle separated it from all the others.